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EN
Official Journal of the European Union
28.3.2013
COUNCIL REGULATION (EU) No 296/2013
of 26 March 2013
amending Regulation (EC) No 329/2007 concerning restrictive measures against the Democratic
People’s Republic of Korea
THE COUNCIL OF THE EUROPEAN UNION,
(5) Decision
2013/88/CFSP
also
prohibits
the
sale,
purchase,
transportation or brokering of gold, precious metals and
diamonds to, from or for the Government of North
Korea and the delivery of newly printed or minted or
Having regard to the Treaty on the Functioning of the European
unissued North Korean denominated banknotes and
Union, and in particular Article 215(1) thereof,
coinage to or for the benefit of the Central Bank of
North Korea, as well as the sale or purchase of North
Korean public or public-guaranteed bonds. Furthermore,
Decision 2013/88/CFSP clarifies that where the Council
Having regard to the joint proposal of the High Representative
has provided for a prohibition on financial services, this
of the Union for Foreign Affairs and Security Policy and of the
includes the provision of insurance and reinsurance
European Commission,
services. This necessitates a technical amendment to
Regulation (EC) No 329/2007.
Whereas:
(6) Decision
2013/88/CFSP
prohibits
the
opening
of
new
branches, subsidiaries, or representative offices of North
Korean banks in the territories of Member States, the
(1) Council
Regulation
(EC)
No
329/2007
(
establishment of new joint ventures, or the taking of

1 ) gives effect to
measures provided for in Council Decision
an ownership interest by the North Korean banks,
2010/800/CFSP of 22 December 2010 concerning
including the Central Bank of North Korea, with banks
restrictive measures against the Democratic People’s
in the jurisdiction of Member States.
Republic of Korea ( 2 ).
(7) Moreover,
in
line
with
paragraph
13
of
UN
Security
Council Resolution 2087 (2013), it is necessary to
(2) On
18
February
2013,
the
Council
adopted
Decision
establish that no claims in connection with the
2013/88/CFSP ( 3 ) amending Decision 2010/800/CFSP
performance of any contract or transaction affected by
which provided for additional restrictive measures
those measures shall be granted to designated persons or
against the Democratic People’s Republic of Korea
entities or any other person or entity in North Korea.
(‘North Korea’) by giving effect to the additional
measures required by United Nations (UN) Security
Council Resolution 2087 (2013) and to further
autonomous measures of the Union.
(8) Regulation
(EC)
No
329/2007
should
therefore
be

amended accordingly,
(3)
Decision 2013/88/CFSP includes an additional criterion
HAS ADOPTED THIS REGULATION:
for autonomous designation by the Union of persons
and entities subject to restrictive measures, namely
persons involved in, including through the provision of
Article 1
financial services, the supply to or from North Korea of
arms and related material of all types, or of items,
Regulation (EC) No 329/2007 is hereby amended as follows:
materials, equipment, goods and technology which
could contribute to North Korea’s nuclear-related, other
weapons of mass destruction related or ballistic missile-
(1) Article 2 is replaced by the following:
related programmes.
‘Article 2
(4) Furthermore,
Decision
2013/88/CFSP
prohibits
the
sale,
supply, transfer to North Korea of certain other goods
1. It
shall
be
prohibited:
relevant to North Korea’s weapons of mass destruction-
related programmes, in particular its ballistic-missile
sector, especially certain types of aluminium.
(a) to sell, supply, transfer or export, directly or indirectly,
the goods and technology, including software, listed in
Annexes I, Ia and Ib, whether or not originating in the
( 1 ) OJ L 88, 29.3.2007, p. 1.
( 2 ) OJ L 341, 23.12.2010, p. 32.
Union, to any natural or legal person, entity or body in,
( 3 ) OJ L 46, 19.2.2013, p. 28.
or for use in North Korea;

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(b) to participate, knowingly and intentionally, in activities
(3) in the first subparagraph of Article 3a(1), the words
the object or effect of which is to circumvent the
‘Annexes I and Ia’ are replaced by the words ‘Annexes I,
prohibition referred to in point (a).
Ia and Ib’;
2. Annex I shall include all items, materials, equipment,
(4) the following articles are inserted:
goods and technology, including software, which are dual-
use items or technology as defined in Council Regulation
(EC) No 428/2009 of 5 May 2009 setting up a Community
regime for the control of exports, transfer, brokering and
‘Article 4a
transit of dual- use items (*).
1. It
shall
be
prohibited:
Annex Ia shall include other items, materials, equipment,
(a) to sell, supply, transfer or export, directly or indirectly,
goods and technology which could contribute to
gold, precious metals and diamonds, as listed in Annex
North Korea’s nuclear-related, other weapons of mass
VII, whether or not originating in the Union, to or for
destruction-related or ballistic missile-related programmes.
the Government of North Korea, its public bodies,
corporations and agencies, the Central Bank of North
Korea and any person, entity or body acting on their
Annex Ib shall include certain key components for the
behalf or at their direction, or any entity or body owned
ballistic-missile sector.
or controlled by them;
3. It
shall
be
prohibited
to
purchase,
import
or
transport
the goods and technology listed in Annexes I, Ia and Ib
(b) to purchase, import or transport, directly or indirectly,
from North Korea, whether or not the item concerned
gold, precious metals and diamonds, as listed in Annex
originates in North Korea.
VII, whether or not originating in North Korea, from the
Government of North Korea, its public bodies,
corporations and agencies, the Central Bank of North
___________
Korea and any person, entity or body acting on their
(*) OJ L 134, 29.5.2009, p. 1.’;
behalf or at their direction, or any entity or body owned
or controlled by them;
(2) Article 3(1) is amended as follows:
(c) to provide, directly or indirectly, technical assistance or
brokering services, financing or financial assistance,
related to the goods referred to in points (a) and (b),
(a) points (a) and (b) are replaced by the following:
to the Government of North Korea, its public bodies,
corporations and agencies, the Central Bank of North
Korea and any person, entity or body acting on their
‘(a) to provide, directly or indirectly, technical assistance
behalf or at their direction, or any entity or body owned
and brokering services related to goods and tech
or controlled by them.
nology listed in the EU Common List of Military
Equipment or in Annexes I, Ia and Ib, and to the
provision, manufacture, maintenance and use of
2. Annex VII shall include gold, precious metals and
goods listed in the EU Common List of Military
diamonds subject to the prohibitions referred to in
Equipment or in Annexes I, Ia and Ib to any
paragraph 1.
natural or legal person, entity or body in, or for
use in, North Korea;
Article 4b
(b) to provide, directly or indirectly, financing or
It shall be prohibited to sell, supply, transfer or export,
financial assistance related to goods and technology
directly or indirectly, newly printed or unissued North
listed in the EU Common List of Military Equipment
Korean denominated banknotes and minted coinage, to or
or in Annexes I, Ia and Ib, including in particular
for the benefit of the Central Bank of North Korea.’
grants, loans and export credit insurance, as well as
insurance and reinsurance, for any sale, supply,
transfer or export of such items, or for any
‘Article 5a
provision of related technical assistance to any
natural or legal person, entity or body in, or for
1. It
shall
be
prohibited
for
credit
and
financial
insti
use in, North Korea;’;
tutions falling within the scope of Article 16:
(b) in points (c) and (d), the words ‘Annexes I and Ia’ are
(a) to open a new representative office in North Korea or to
replaced by the words ‘Annexes I, Ia and Ib’;
establish a new branch or subsidiary in North Korea; or

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L 90/6
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Official Journal of the European Union
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(b) to establish a new joint venture with a credit or
(b) as providing financial services or the transfer to,
financial institution domiciled in North Korea or with
through or from the territory of the Union, or
any credit or financial institution referred to in
involving nationals of Member States or entities
Article 11a(2).
organised under their laws, or persons or financial insti
tutions in the territory of the Union, of any financial or
other assets or resources that could contribute to
North Korea’s nuclear-related, other weapons of
2. It
shall
be
prohibited:
mass destruction-related or ballistic missile-related
programmes, as well as persons or bodies acting in
their name or on their instructions and entities owned
(a) to authorise the opening of a representative office or the
or controlled by them; or
establishment of a branch or subsidiary in the Union of
a credit or financial institution domiciled in North Korea
or of any credit or financial institution referred to in
(c) as involved in, including through the provision of
Article 11a(2);
financial services, the supply to or from North Korea
of arms and related material of all types, or of items,
materials, equipment, goods and technology which
could contribute to North Korea’s nuclear-related,
(b) to conclude agreements for, or on behalf of, a credit or
other weapons of mass destruction related or ballistic
financial institution domiciled in North Korea or for, or
missile-related programmes, to North Korea.
on behalf of, any credit or financial institution referred
to in Article 11a(2) pertaining to the opening of a
representative office or the establishment of a branch
or subsidiary in the Union;
Annex V shall be reviewed at regular intervals and at least
every 12 months.
(c) to grant an authorisation for the taking up and pursuing
___________
the business of a credit institution or for any other
(*) OJ L 341, 23.12.2010, p. 32.’;
business requiring prior authorisation, by a represen
tative office, branch or subsidiary of a credit or
financial institution domiciled in North Korea or of
any credit or financial institution referred to in
(6) the following articles are inserted:
Article 11a(2), if the representative office, branch or
subsidiary was not operational before 19 February
2013;
‘Article 9a
It shall be prohibited:
(d) to acquire or to extend a participation, or to acquire any
other ownership interest, in a credit or financial insti
tution falling within the scope of Article 16 by any
(a) to sell or purchase public or public-guaranteed bonds
credit or financial institution referred to in
issued after 19 February 2013, directly or indirectly, to
Article 11a(2).’;
or from any of the following:
(i) North Korea or its Government, and its public
(5) Article 6(2) is replaced by the following:
bodies, corporations and agencies;
‘2. All
funds
and
economic
resources
belonging
to,
(ii) the Central Bank of North Korea;
owned, held or controlled by the persons, entities and
bodies listed in Annex V shall be frozen. Annex V shall
include persons, entities and bodies not listed in Annex
(iii) a credit or financial institution domiciled in North
IV, who, in accordance with points (b), (c) and (d) of
Korea or any credit or financial institution referred
Article 5(1) of Council Decision 2010/800/CFSP of
to in Article 11a(2);
22 December 2010 concerning restrictive measures
against the Democratic People’s Republic of Korea (*) have
been identified by the Council:
(iv) a natural person or a legal person, entity or body
acting on behalf or at the direction of a legal
person, entity or body referred to in (i) or (ii);
(a) as responsible for North Korea’s nuclear-related, other
weapons of mass destruction-related or ballistic missile-
related programmes, as well as persons or bodies acting
(v) a legal person, entity or body owned or controlled
in their name or on their instructions and entities
by a person, entity or body referred to in (i), (ii) or
owned or controlled by them;
(iii);

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(b) to provide brokering services with regard to public or
2. The
performance
of
a
contract
or
transaction
shall
be
public-guaranteed bonds issued after 19 February 2013
regarded as having been affected by the measures imposed
to a person, entity or body referred to in point (a);
under this Regulation where the existence or content of the
claim results directly or indirectly from those measures.
(c) to assist a person, entity or body referred to in point (a)
in order to issue public or public-guaranteed bonds, by
3.
In any proceedings for the enforcement of a claim, the
providing brokering services, advertising or any other
onus of proving that satisfying the claim is not prohibited
service with regard to such bonds.
by paragraph 1 shall be on the person seeking the
enforcement of that claim.
Article 9b
1. No
claims
in
connection
with
any
contract
or
trans
4. This Article is without prejudice to the right of the
action the performance of which has been affected, directly
persons, entities and bodies referred to in paragraph 1 to
or indirectly, in whole or in part, by the measures imposed
judicial review of the legality of the non-performance of
under this Regulation, including claims for indemnity or
contractual obligations in accordance with this Regulation.’;
any other claim of this type, such as a claim for compen
sation or a claim under a guarantee, notably a claim for
extension or payment of a bond, guarantee or indemnity,
(7) the entries set out in Annex I to this Regulation are inserted
particularly a financial guarantee or financial indemnity, of
in the existing Annex Ia to Regulation (EC) No 329/2007
whatever form, shall be satisfied, if they are made by:
after entry I.A1.020;
(a) designated persons, entities or bodies listed in Annexes
(8) Annex II to this Regulation is inserted as Annex Ib to
IV and V;
Regulation (EC) No 329/2007;
(b) any other North Korean person, entity or body,
(9) Annex III to this Regulation is added as Annex VII to
including the Government of North Korea, its public
Regulation (EC) No 329/2007.
bodies, corporations and agencies;
Article 2
(c) any person, entity or body acting through or on behalf
of one of the persons, entities or bodies referred to in
This Regulation shall enter into force on the day following that
points (a) and (b).
of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 26 March 2013.
For the Council
The President
E. GILMORE

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L 90/8
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Official Journal of the European Union
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ANNEX I
‘I.A1.021 Steel
alloys
in
sheet
or
plate
form,
having
any
of
the
following
characteristics:
1C116
(a) Steel alloys “capable of” ultimate tensile strength of 1 200 MPa or more, at
1C216
293 K (20 °C); or
(b) Nitrogen-stabilised duplex stainless steel.
Note: the phrase alloys “capable of” encompasses alloys before or after heat treatment.
Technical note: “nitrogen-stabilised duplex stainless steel” has a two-phase microstructure
consisting of grains of ferritic and austenitic steel with the addition of nitrogen to stabilise
the microstructure.
I.A1.022 Carbon-Carbon
Composite
material. 1A002.b.1
I.A1.023 Nickel
alloys
in
crude
or
semi-fabricated
form,
containing
60
%
by
weight
or
1C002.c.1.a
more nickel.
I.A1.024 Titanium
alloys
in
sheet
or
plate
form
“capable
of”
an
ultimate
tensile
strength
of
1C002.b.3’
900 MPa or more at 293 K (20 °C).
Note: the phrase alloys ‘capable of’ encompasses alloys before or after heat treatment.
ANNEX II
‘ANNEX Ib
Goods referred to in the third subparagraph of Article 2(2)
7601 Unwrought
aluminium
7602 Aluminium
waste
and
scrap
7603 Aluminium
powders
and
flakes
7604 Aluminium
bars,
rods
and
profiles
7605 Aluminium
wire
7606 Aluminium
plates,
sheets
and
strip,
of
a
thickness
exceeding
0,2
mm
7608 Aluminium
tubes
and
pipes
7609 Aluminium
tube
or
pipe
fittings
(for
example,
couplings,
elbows,
sleeves)
7614 Stranded
wire,
cables,
plaited
bands
and
the
like,
of
aluminium,
not
electrically
insulated’

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ANNEX III
‘ANNEX VII
List of gold, precious metals and diamonds referred to in Article 4a
HS Code Description
7102
Diamonds, whether or not worked, but not mounted or set
7106
Silver (including silver plated with gold or platinum), unwrought or in semi-manufactured forms, or
in powder form
7108 Gold
(including
gold
plated
with
platinum),
unwrought
or
in
semi-manufactured
forms,
or
in
powder
form
7109 Base
metals
or
silver,
clad
with
gold,
not
further
worked
than
semi-manufactured
7110
Platinum, unwrought or in semi-manufactured forms, or in powder form
7111 Base
metals,
silver
or
gold,
clad
with
platinum,
not
further
worked
than
semi-manufactured
7112
Waste and scrap of precious metal or of metal clad with precious metal; other waste and scrap
containing precious metal or precious-metal compounds, of a kind used principally for the recovery
of precious metal’

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